Securities Arbitration Lawyers BlogIndividuals Barred by FINRA in May 2018 for Failing to Comply with FINRA Rules
According to FINRA Disciplinary actions for May 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules:
|
NAME |
FORMER EMPLOYERS |
| Benjamin Glasser Aibel | Wunderlich Securities,Inc |
| Sanders Morris Harris Inc | |
| Carter Page Brooks | Wells Fargo Clearing Services, LLC |
| Edward Jones | |
| Walter Lee Clark | Wilmington Capital Securities, LLC |
| Adirondack Trading Groups LLC | |
| Christian Colon | Ausdal Financial Partners, Inc. |
| UBS Financial Services Inc. | |
| Randolph Lee Eddlemon III | Geneos Wealth Management, Inc. |
| Schooner Financial Associates | |
| Carlos Nestor Evertsz-Seda | K.C. Ward Financial |
| J.P. Turner & Company, LLC | |
| Kenneth Taylor Foreman | Securities America, Inc |
| Foothill Securities, Inc | |
| Sherie Irene Gaunt | Gill Capital Partners |
| Kimberly Pine Kitts | Royal Alliance Associates, Inc |
| Sound Financial, LLC | |
| Peter Jack Margaros | State Farm VP Management Corp |
| James Albert Pettit | Ameriprise Financial Services, Inc |
| Janney Montgomery Scott LLC | |
| Keisha Diane Pizzo | |
| Eric P. Poage | Edward Jones |
| Lincoln Financial Advisors Corporation | |
| John Greg Schmidt | Wells Fargo Advisors Financial Network, LLC |
| Stifel, Nicholas & Company, Inc | |
| Bradley Curtis Williams | J.P. Morgan Securities LLC |
| Invest Financial Corporation | |
| Luis Alberto Zuniga |
Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.